Broker Negligence
Over 1,400 case summaries and investor alerts. Recent securities-fraud recoveries, regulatory news, and investigations.
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Broker Negligence Cynthia Komarek Barred by the FINRA
Merrill Lynch employed Ms. Cynthia Komarek from 1991- 2008. She then became registered with Wells Fargo Advisors from 2008-2017 and then moved to Sagepoint Financial in 2017, being terminated by Sagepoint in 2020.
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Broker Negligence Mortgage Bonds as Short-Term Investments
With the rise in interest rates, many investors are now stuck in long-term mortgage bonds sold as short-term investments . Stockbrokers pushed these long-term bonds since they could earn more in commission than selling a short-term bond or Certificate of…
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Broker Negligence Is Whole Life Insurance a Good Investment for Retirement?
A disturbing trend among stockbrokers licensed as insurance agents is to recommend purchasing a “whole life” insurance policy as an investment. These products are sometimes referred to as LIRPs (Life Insurance Retirement Plans) and are sold to fund an…
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Alternative Investment GPB Capital Holdings News: What You Need to Know
The Financial Industry Regulatory Authority ( FINRA ) recently fined Royal Alliance, FSC Corporation , SafePoint Financial , and Woodbury Financial Services, ordering them to pay partial restitution to customers investing in units of GPB Capital Holdings.…
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Broker Negligence KBS REIT: Recover Your Losses
Oakes and Fosher is currently representing those who have invested in a KBS REIT and suffered losses due to its high risk and illiquidity. The KBS 3 non-traded REIT has limited redemptions on its non-traded REITs, similar to issues at other companies , like…
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Broker Negligence NorthStar Healthcare Income REIT: Unsuitable Investments
Recent reports reflect that this non-traded real estate investment trust (REIT) is 80% invested in Senior Living Facilities, and the value of the REIT on the secondary market has traded between $1 and $2 per share.
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